Treliant, a consulting firm that serves banks, fintechs, mortgage originators, and servicers, has hired of Andrew Surgan to be its new Managing Director of Regulatory Compliance, Mortgage, and Operations Solutions. He’s expected to help clients mitigate regulatory risk and streamline compliance in the role.
"With efficient and innovative approaches, broker dealers and investment advisers can master the regulatory complexity and change all around them, optimize their operations, and leverage compliance as a strategic advantage," Surgan said in a press release. "I look forward to equipping our clients to achieve both compliance and operational excellence."
Surgan brings in over 30 years of experience in regulatory compliance and 23 years in the broker dealer and investment banking sector. Previously, Surgan held the Managing Director position at Grant Thornton in New York City, leading the firm's regulatory compliance practice focused on this market. Prior to that, Surgan acted as Chief Compliance Officer for several U.S.-based and global broker dealers, and other financial firms including Mitsubishi UFJ Financial Group, RBC Capital Markets, The Bank of New York, and Citigroup.
Additionally, Surgan has experience communicating with regulators such as the Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), and Commodity Futures Trading Commission (CFTC), helping firms remediate regulatory findings.
"In today's uncertain environment, members of the investment community need to be able to rely on experts who can not only identify potential risks but also provide efficient and practical solutions," said Brendan Mulvey, Senior Managing Director, Regulatory Compliance, Mortgage, and Operational and Enterprise Risk Management Solutions.
"Andrew's deep understanding of the industry and regulatory landscapes combined with his proven track record of helping regulated entities navigate compliance and operational challenges will be invaluable to our clients," Mulvey added.
